Eric D. Mizell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Eric Davon Mizell, who also goes by Eric Mizell, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1994. Eric had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - November 1, 2016
CETERA INVESTMENT ADVISERS LLC
January 10, 2003 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
December 6, 2002 - November 1, 2016
CETERA INVESTMENT SERVICES LLC
August 15, 2000 - December 17, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 2, 2000 - December 17, 2002
WELLS FARGO CLEARING SERVICES, LLC
April 28, 1995 - June 10, 2000
J.C. BRADFORD & CO.
August 22, 1994 - February 13, 1995
H.J. MEYERS & CO., INC.
August 8, 1994 - August 19, 1994
WESTFIELD FINANCIAL CORPORATION
June 24, 1994 - September 15, 1994
HIBBARD BROWN & CO., INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
